DFX Intelligence

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G••••••• I••••••••• C•••••• C••••

Independent wealth managerSEC-registered· Torontowebsite

Independent wealth manager, based in Toronto, reporting $544M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2025-11-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $544M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +53%
Private clients: 74% of RAUM, $401M

Advisors Advisor movement Where the RAUM sits

As of 2025-11-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +53% over the last fiscal year, to $544M.
2025-11-17
RAUM a year earlier $356MRAUM now $544M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 146982 · SEC 801-69192 · 20 filingsShow

CRD 146982SEC 801-69192First filing on the tape Nov 22, 2011, latest Nov 17, 2025SEC status approved since May 23, 2008IAPD

RAUM

$544M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

74%

$401M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$544M as of Nov 17, 2025

Nov 22, 2011$87.4M then

HNW client RAUM$386M as of Nov 17, 2025

Nov 29, 2017$139M then

State-registered IARs (5.B.3)0 as of Nov 17, 2025

Nov 29, 20120 then

Employees (5.A)9 as of Nov 17, 2025

Nov 29, 20124 then

Private funds: no history

RAUM +53% over the last fiscal year+17% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Nov 17, 2025; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $396,568derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +29%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +14%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$386M71%
Corporations and businesses$143M26%
Individuals$14.3M2.6%

Individual clients: 67reported
HNW clients: 317reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1,372reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.74 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••• A••••• · Chairman/Shareholdercontrol
since 05/2009 · owns 10% to 25%
B••••••• M••• · Shareholdercontrol
since 04/2005 · owns 10% to 25%
R•••• G•••••• A•••••••• · President/Chief Executive Officer/Director/Shareholdercontrol
since 02/2000 · owns 25% to 50%
B•••• A•••••• N••• · Chief Compliance Officer
since 10/2018 · owns less than 5%
M••••• A•••••• · Shareholder
since 09/2024 · owns 5% to 10%
M•••••••• D•••• M•••• · Shareholder
since 09/2024 · owns 5% to 10%
V••••••• L•••••• M••••••• · Shareholder
since 02/2017 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 1,210 to 1,372
Nov 25, 2024 to Nov 17, 2025
Corporate clients · 19 to 20
Nov 25, 2024 to Nov 17, 2025
HNW clients · 225 to 317
Nov 25, 2024 to Nov 17, 2025
Individual clients · 135 to 67
Nov 25, 2024 to Nov 17, 2025
Employees · 8 to 9
Nov 25, 2024 to Nov 17, 2025
Financial planning clients · 0 to 0
Nov 25, 2024 to Nov 17, 2025
HQ state · unset to
Nov 25, 2024 to Nov 17, 2025
Discretionary RAUM · $458M to $544M
Nov 25, 2024 to Nov 17, 2025
HNW RAUM · $296M to $386M
Nov 25, 2024 to Nov 17, 2025
Individual RAUM · $42.0M to $14.3M
Nov 25, 2024 to Nov 17, 2025
RAUM · $458M to $544M
Nov 25, 2024 to Nov 17, 2025
Accounts · 1,023 to 1,210
Nov 14, 2023 to Nov 25, 2024
Corporate clients · 18 to 19
Nov 14, 2023 to Nov 25, 2024
HNW clients · 190 to 225
Nov 14, 2023 to Nov 25, 2024
Individual clients · 125 to 135
Nov 14, 2023 to Nov 25, 2024
Discretionary RAUM · $356M to $458M
Nov 14, 2023 to Nov 25, 2024
HNW RAUM · $209M to $296M
Nov 14, 2023 to Nov 25, 2024
Individual RAUM · $38.5M to $42.0M
Nov 14, 2023 to Nov 25, 2024
RAUM · $356M to $458M
Nov 14, 2023 to Nov 25, 2024
Accounts · 893 to 1,023
Nov 29, 2022 to Nov 14, 2023
Corporate clients · 19 to 18
Nov 29, 2022 to Nov 14, 2023
HNW clients · 188 to 190
Nov 29, 2022 to Nov 14, 2023
Individual clients · 107 to 125
Nov 29, 2022 to Nov 14, 2023
Discretionary RAUM · $334M to $356M
Nov 29, 2022 to Nov 14, 2023
HNW RAUM · $194M to $209M
Nov 29, 2022 to Nov 14, 2023
Individual RAUM · $27.6M to $38.5M
Nov 29, 2022 to Nov 14, 2023
RAUM · $334M to $356M
Nov 29, 2022 to Nov 14, 2023
Accounts · 750 to 893
Nov 25, 2021 to Nov 29, 2022
Advisory employees · 6 to 7
Nov 25, 2021 to Nov 29, 2022
Corporate clients · 18 to 19
Nov 25, 2021 to Nov 29, 2022
HNW clients · 136 to 188
Nov 25, 2021 to Nov 29, 2022
Individual clients · 122 to 107
Nov 25, 2021 to Nov 29, 2022
Employees · 7 to 8
Nov 25, 2021 to Nov 29, 2022
Discretionary RAUM · $341M to $334M
Nov 25, 2021 to Nov 29, 2022
HNW RAUM · $200M to $194M
Nov 25, 2021 to Nov 29, 2022
Individual RAUM · $41.0M to $27.6M
Nov 25, 2021 to Nov 29, 2022
RAUM · $341M to $334M
Nov 25, 2021 to Nov 29, 2022
Accounts · 631 to 750
Nov 25, 2020 to Nov 25, 2021
HNW clients · 118 to 136
Nov 25, 2020 to Nov 25, 2021
Individual clients · 102 to 122
Nov 25, 2020 to Nov 25, 2021

Signals

1 dated events

••• Locked
Nov 25, 2024 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Nov 17, 2025
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Nov 17, 2025

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026